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Stephen Mitola

Key Investment Services LLC
32 Years of Experience
Clifton Park, NY
1 DisclosureBroker
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Stephen Mitola is a registered investment advisor at Key Investment Services LLC, based in Clifton Park, NY, with 32 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Medical Professionals, and 1 more. Their firm serves 34,920 clients with $8.9B in assets under management.

Key Investment Services LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
640 advisors
Number of Clients
34,920 clients
Average Client Portfolio
$254K average
Assets Under Management
$8.9B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$130
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.40%
$1M+1.00%

The schedule represents the maximum annual advisory fee charged by Key Investment Services. Investment manager or strategist fees are additional. The advisory fee portion is negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Clifton Park, NY

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen co-owns two thoroughbred race horses, Unicorn Sally (active racer) since 2019 and In All My Dreams since April 2024. He spends minimal time on these activities.

Employment History
Current Registrations
Key Investment Services LLC
March 2021 - Present · 5 yrs 7 mos
Key Investment Services LLC
January 2008 - Present · 18 yrs 9 mos
Key Investment Services LLCBroker
January 2008 - Present · 18 yrs 9 mos
Previous Registrations
Cco Investment Services CORP.
November 2006 - January 2008 · 1 yr 2 mos
Cco Investment Services CORP.Broker
November 2005 - January 2008 · 2 yrs 2 mos
Lm Financial Partners, INC.Broker
January 1999 - May 1999 · 4 mos
Charter One Securities, INC.Broker
January 1999 - December 2005 · 6 yrs 11 mos
Lm Financial Partners, INC.Broker
November 1997 - December 1998 · 1 yr 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1994 - November 1997 · 3 yrs 3 mos
State Registrations1 state
NY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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